Financial Industry Regulatory Authority

FINRA Compliance

Financial Industry Regulatory Compliance Service

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If you’re looking for Nashville Managed IT Services near me, then you’ve found the right place!

Do you store, use or transmit personally identifiable information (PII) (e.g., social security numbers or date of birth) or firm sensitive information (e.g. financial records) electronically?

Generally, the answer for financial services organizations is “yes” – so the regulators at the Financial Industry Regulatory Authority (FINRA) want you to follow best practices in keeping that data secure.

That means following what’s called the NIST Framework – standards put forth by the National Institute of Standards and Technology at the U.S. Department of Commerce. The NIST Framework is an extensive set of processes recommended for cybersecurity best practices – and FINRA’s “Small Firm Cybersecurity Checklist” follows it.

The FINRA checklist wants financial firms to have a data asset inventory, user access information, data protection policies and practices, penetration and vulnerability testing, and employee IT security training.

How do you do all this – while also scheduling all your client work?

We recommend you seek a reliable IT Compliance vendor who is experienced in working through FINRA’s regulatory IT requirements. We are here to help save you some headaches – and heartaches. Click the button to learn more about our expertise and whether we can help you!


Frequently Asked Questions

Can you help me create Written Supervisory Procedures for our branch offices?

Yes. We have several clients with multiple locations needing consistent, documented employee processes. We recommend you schedule a conversation with us to determine the scope of your needs. Before you write your policies and procedures, you may need a Risk Assessment to identify your hottest security issues.

What do I have to do create an Asset Inventory?

We find completing a Risk Assessment helps our clients think through how they store data, how it’s used, how it’s transmitted, and who is accessing it. Our Risk Assessments include questions you may not think of – but need to. Upon completing the Risk Assessment exercise with us, you will have a clear picture of your Asset Inventory.

I keep hearing about Phishing and employee training. Can you help with that?

We offer excellent, personalized employee training programs to increase employee security posture. You must take this recommendation from FINRA seriously – as it can be a critical gap in your security efforts.


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